Self-assessment

How does your safety program compare with 14 CFR Part 5?

27 questions across the five areas 14 CFR Part 5 is organized into, scored out of 54. You’ll get an honest picture of your program section by section, with what you reported set beside what the regulation says.

What the questions are drawn from

14 CFR Part 5 is titled Safety Management Systems and is organized into safety policy, safety risk management, safety assurance and safety promotion, with a further subpart on documentation and records. The 27 questions follow that structure, and each one names the section it comes from.

Scoring is two points for a full yes, one for partly, none for no, so 54 is the maximum. The score is a description of your own answers. Where you actually stand with a regulator is a conversation with an auditor, not a number a website can give you.

Read 14 CFR Part 5 at eCFR

Your turn

Let’s get started

27 questions, about ten minutes. Answer for the operation as it runs today rather than as the manual describes it, and the result will be worth something.

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Section 1 of 5

Safety Policy and Accountability

14 CFR Part 5, Subpart B

Is your Safety Policy formally documented, approved by senior leadership, communicated throughout the organization, and reviewed on a regular basis?

§5.21(a), §5.21(c), §5.21(d)

Yes: Fully documented, approved, communicated, and regularly reviewed.Partially: Some elements exist but incomplete or inconsistently applied.No: No formal documented policy or lacks key elements.

Does your Safety Policy define safety objectives, commitment to FAA compliance, required resources, and is it signed by the Accountable Executive?

§5.21(a), §5.21(b), §5.25

Yes: Includes all elements and is signed by the Accountable Executive.Partially: Includes some elements or lacks AE signature.No: Does not address objectives, compliance, resources, or signature.

Is there a documented process to review and update the Safety Policy based on operational changes and safety performance?

§5.21(d), §5.73

Yes: Documented process with scheduled reviews based on data.Partially: Process exists but reviews are inconsistent.No: No formal process for policy review and update.

Has an Accountable Executive been formally designated who has final operational authority and control of financial and human resources for safety?

§5.25(a)

Yes: AE formally designated with full authority and resource control.Partially: AE designated but lacks full authority or resource control.No: No formally designated Accountable Executive.

Are levels of management with authority to accept safety risk clearly defined and documented?

§5.23(b)

Yes: Risk acceptance authority levels are clearly defined and documented.Partially: Some authority levels defined but not comprehensive.No: Risk acceptance authority is not defined or documented.

Is there an Emergency Response Plan approved by the Accountable Executive and coordinated with interfacing organizations?

§5.27

Yes: ERP approved by AE and coordinated with external organizations.Partially: ERP exists but lacks AE approval or external coordination.No: No Emergency Response Plan or not properly approved.

Section 2 of 5

Safety Risk Management

14 CFR Part 5, Subpart C

Are safety risk management processes documented and consistently applied, including hazard identification and risk assessment?

§5.53, §5.55

Yes: Documented SRM processes consistently applied across operations.Partially: Processes exist but inconsistently applied.No: No documented or consistently applied SRM processes.

Do safety risk assessments evaluate both probability and severity to determine acceptable risk?

§5.55(a)–(b)

Yes: All assessments evaluate both probability and severity.Partially: Assessments occur but don't consistently address both factors.No: No formal risk assessments considering probability and severity.

Are safety risk controls implemented, monitored, and updated based on operational data and safety performance?

§5.55(c)–(d), §5.75

Yes: Controls implemented, monitored, and updated based on data.Partially: Controls exist but not consistently monitored or updated.No: No formal process for implementing or monitoring controls.

Has your organization documented the systems subject to safety risk management, including operating environment, processes, personnel, equipment, and interfaces?

§5.51, §5.53(b)

Yes: All system components documented including interfaces.Partially: Some system components documented but incomplete.No: Systems subject to SRM not documented.

Is there a defined and documented process for determining when safety risk is acceptable?

§5.55(b)

Yes: Documented process with clear risk acceptance criteria.Partially: Process exists but criteria not clearly defined.No: No documented process for determining acceptable risk.

Are hazards identified in the operating environment communicated to interfacing persons when applicable?

§5.57

Yes: Hazards systematically communicated to all interfacing parties.Partially: Some hazard communication but not systematic.No: No process to communicate hazards to interfacing persons.

Section 3 of 5

Safety Assurance

14 CFR Part 5, Subpart D

Are internal evaluations and audits conducted as part of safety assurance processes, with documented results and corrective actions?

§5.71(a)(3)–(4)

Yes: Regular audits with documented results and corrective actions.Partially: Audits occur but documentation or actions are inconsistent.No: No regular internal evaluations or audits.

Is safety performance monitored using defined metrics, data analysis, and trend identification?

§5.71(a)–(b)

Yes: Performance monitored with defined metrics and trend analysis.Partially: Some monitoring but metrics or analysis incomplete.No: No systematic safety performance monitoring.

Are corrective actions from audits, investigations, and safety reviews documented, closed, and their effectiveness verified?

§5.71, §5.73, §5.75

Yes: Actions documented, closed, and effectiveness verified.Partially: Actions documented but verification inconsistent.No: No formal process for corrective action management.

Does your organization maintain a confidential employee reporting system that allows hazard and safety concerns to be reported without fear of reprisal?

§5.71(a)(7)

Yes: Confidential reporting system with non-punitive protections.Partially: Reporting system exists but confidentiality not assured.No: No confidential reporting system for safety concerns.

Does the Accountable Executive review safety performance and direct corrective actions when deficiencies are identified?

§5.73

Yes: AE regularly reviews performance and directs corrective actions.Partially: AE involvement but not consistent or formalized.No: AE does not actively review or direct safety actions.

Section 4 of 5

Safety Promotion

14 CFR Part 5, Subpart E

Is initial and recurrent SMS training provided to personnel based on their roles and responsibilities within the Safety Management System?

§5.91

Yes: Role-based initial and recurrent SMS training provided.Partially: Training provided but not role-based or recurrent.No: No systematic SMS training program.

Are safety communications, including lessons learned and hazard information, regularly shared with all employees?

§5.93(a)–(b)

Yes: Regular structured safety communications to all employees.Partially: Communications occur but lack regularity or structure.No: No systematic safety communication program.

Does the organization evaluate the effectiveness of safety training and communication activities?

§5.91, §5.93

Yes: Regular evaluation of training and communication effectiveness.Partially: Some evaluation but not systematic or documented.No: No evaluation of training or communication effectiveness.

Do safety communications explain why safety actions are taken and why procedures are introduced or changed?

§5.93(c)–(d)

Yes: Communications explain rationale for safety actions and changes.Partially: Some explanation provided but not consistently.No: Communications do not explain reasoning behind changes.

Section 5 of 5

SMS Documentation and Records

14 CFR Part 5, Subpart F

Are SMS policies, processes, and procedures documented, maintained, and accessible?

§5.95

Yes: All SMS documentation maintained and readily accessible.Partially: Documentation exists but accessibility is limited.No: SMS documentation not maintained or accessible.

Are corrective actions documented, tracked to closure, and their effectiveness verified?

§5.71, §5.75

Yes: Corrective actions documented, tracked, and verified.Partially: Actions tracked but verification inconsistent.No: No formal corrective action tracking system.

Are SMS records protected from unauthorized access or alteration?

§5.97

Yes: Robust protections prevent unauthorized access/alteration.Partially: Some protections but not comprehensive.No: No established protections for SMS records.

Are safety risk management records retained for as long as the associated risk controls remain relevant?

§5.97(a)

Yes: SRM records retained while controls remain relevant.Partially: Retention occurs but not systematically managed.No: No policy for SRM record retention.

Are safety assurance records retained for a minimum of five years?

§5.97(b)

Yes: Safety assurance records retained for 5+ years.Partially: Some records retained but not consistently.No: Records not retained for required period.

Are SMS training and safety communication records retained for the required periods?

§5.97(c)–(d)

Yes: Training and communication records properly retained.Partially: Some records retained but gaps exist.No: Training/communication records not systematically retained.

27 questions still to answer.

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